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JPMorgan units pay fines over self-discovered correspondence failures

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JPMorgan units pay fines over self-discovered correspondence failures

FINRA censured two JPMorgan Chase & Co. units for failing to send orpreserve letters, records and notices and for failing to review certainemployees' outside brokerage account statements.

The misses were self-discovered.Without admitting or denying the findings, J.P. Morgan Securities LLC offered to pay a fine of$775,000 and J.P. Morgan ClearingCorp. a fine of $250,000. The penalties were accepted by FINRA onApril 22.